Marketing, distribution and transfer agency 

Description 

The training is part of the Fund Governance Masterclass, a certification programme with the below topics:

• Module 1 – Funds & IFMs: Governance fundamentals (28hr, 3.5 days)
• Module 2 – Technology challenges for Governing Bodies (4hr, 0.5 day)
• Module 3 – Portfolio management (4hr, 0.5 day)
• Module 4 – ESG developments for Governing Bodies  (4hr, 0.5 day)
• Module 5 – Risk management (8hr, 1 day)
• Module 6 – Fund Administration, Depositary and Valuation (8hr, 1 day)
• Module 7 – Marketing, distribution and transfer agency (8hr, 1 day)
• Module 8 – AML/CFT for Governing Bodies (4hr, 0.5 day)
• Module 9 – The role of the auditor (4hr, 0.5 day)
• Module 10 – Tax & Regulation for Governing Bodies (8hr, 1 day)
• Module 11 – Fund Governance in Practice (8hr, 1 day)

Course outline 

The successful marketing of a fund to investors depends on implementing a clear strategy as well as ongoing adherence to a myriad of rules, at Luxembourg, European and at local level in each country of distribution. The relevant regimes range from pre-marketing, through private placement to public distribution. 

This module will provide a high-level overview of marketing, distribution and transfer agency topics relevant for Board members as well as key risks and controls including supervision and oversight by the Board to ensure that key risks are monitored and managed. 

Key aspects of marketing and distribution covered include structuring the product, product governance, marketing options, fund documentation, registration, distribution models and choice of the distribution channels best suited to reach the fund’s target market. 

The transfer agency part covers models, the responsibilities of the Transfer Agent (TA), as well as aspects such as deal and payment processing, reporting to client and authorities. 

Case studies will be used throughout the module to illustrate some of the practical issues and operational challenges presented by these topics.

Course highlights  

The module covers the following topics:

• Marketing including: 

• Strategy  

• Structuring your product offering 
• Marketing options 
• Registration / authorisation
• Fund documentation  
• Marketing communications




• Distribution including: 
  

• Distribution modules  

• Product governance 
• Distributors 
• Agreements 




• Transfer agency including: 
  

• Transfer Agency models   

• Responsibilities of the transfer agent 
• Operations
  
• Qualifications of investors
• Due diligence and monitoring
• Board reporting   




• Case studies